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CFA

Carroll Financial Associates Portfolio holdings

AUM $1.88B
1-Year Est. Return 20.52%
This Fund
S&P 500
This Quarter Est. Return
-12.12%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$899M
AUM Growth
-$46.6M
Cap. Flow
+$64.5M
Cap. Flow %
7.17%
Top 10 Hldgs %
51.54%
Holding
1,465
New
87
Increased
269
Reduced
314
Closed
79

Top Buys

Rank Stock Value
1
AUSF icon
Global X Adaptive US Factor ETF
AUSF
+$95.8M
2
ARKK icon
ARK Innovation ETF
ARKK
+$3.83M
3
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$3.05M
4
ARKG icon
ARK Genomic Revolution ETF
ARKG
+$2.76M
5
USFR
WisdomTree Bloomberg Floating Rate Treasury Fund
USFR
+$2.26M

Top Sells

Rank Stock Value
1
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$26.6M
2
KLDW
Knowledge Leaders Developed World ETF
KLDW
+$6.04M
3
RTX icon
RTX Corp
RTX
+$4.17M
4
DGRW icon
WisdomTree Trust WisdomTree US Quality Dividend Growth Fund
DGRW
+$4.03M
5
RNRG icon
Global X Renewable Energy Producers ETF
RNRG
+$3.43M

Sector Composition

Rank Sector Weight
1 Financials 7.4%
2 Technology 5.12%
3 Healthcare 3.27%
4 Energy 2.86%
5 Consumer Staples 2.24%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
USB icon
326
US Bancorp
USB
$99.6B
$138K 0.02%
2,975
-339
-10% -$17.4K
IJJ icon
327
iShares S&P Mid-Cap 400 Value ETF
IJJ
$9.03B
$137K 0.02%
1,922
+1,422
+284% +$109K
PAYX icon
328
Paychex
PAYX
$42.7B
$137K 0.02%
2,090
– –
XLI icon
329
State Street Industrial Select Sector SPDR ETF
XLI
$34.6B
$135K 0.02%
2,056
+64
+3% +$4.54K
VCR icon
330
Vanguard Consumer Discretionary ETF
VCR
$6.18B
$133K 0.01%
845
-43
-5% -$6.97K
BND icon
331
Vanguard Total Bond Market
BND
$161B
$132K 0.01%
1,664
-699
-30% -$54.6K
UL icon
332
Unilever
UL
$136B
$132K 0.01%
2,244
– –
MGC icon
333
Vanguard Morningstar Mega Cap ETF
MGC
$10.4B
$130K 0.01%
1,480
– –
NKSH icon
334
National Bankshares
NKSH
$268M
$129K 0.01%
3,500
– –
PRAH
335
DELISTED
PRA Health Sciences, Inc.
PRAH
$128K 0.01%
1,410
– –
NTAP icon
336
NetApp
NTAP
$37.2B
$127K 0.01%
2,162
– –
SPXE icon
337
ProShares S&P 500 ex-Energy ETF
SPXE
$87.6M
$127K 0.01%
4,760
– –
DBAW icon
338
Xtrackers MSCI All World ex US Hedged Equity ETF
DBAW
$303M
$123K 0.01%
5,008
– –
CNI icon
339
Canadian National Railway
CNI
$76.6B
$122K 0.01%
1,586
– –
VTIP icon
340
Vanguard Short-Term Inflation-Protected Securities Index Fund
VTIP
$19.8B
$121K 0.01%
2,541
– –
XLE icon
341
State Street Energy Select Sector SPDR ETF
XLE
$37.6B
$121K 0.01%
3,992
-1,774
-31% -$59.4K
PREF icon
342
Principal Spectrum Preferred Securities Active ETF
PREF
$1.78B
$120K 0.01%
6,675
-9,125
-58% -$169K
VEA icon
343
Vanguard FTSE Developed Markets ETF
VEA
$237B
$120K 0.01%
3,169
-1,579
-33% -$62.5K
ATO icon
344
Atmos Energy
ATO
$28.8B
$118K 0.01%
1,298
– –
ITM icon
345
VanEck Intermediate Muni ETF
ITM
$2.13B
$118K 0.01%
2,485
-1
-0% -$47
MCK icon
346
McKesson
MCK
$101B
$116K 0.01%
1,009
-10,033
-91% -$1.25M
AON icon
347
Aon
AON
$76B
$113K 0.01%
786
-16
-2% -$2.48K
HBI
348
DELISTED
Hanesbrands
HBI
$113K 0.01%
8,505
-18,394
-68% -$286K
ORLY icon
349
O'Reilly Automotive
ORLY
$76.3B
$112K 0.01%
4,950
-4,740
-49% -$108K
HEDJ icon
350
WisdomTree Europe Hedged Equity Fund
HEDJ
$1.87B
$111K 0.01%
3,880
– –
12 13
14
15 16

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NFG
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6M
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RFA
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CCT
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RM
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Carroll Financial Associates's Q4 2018 Portfolio in Review

As of Q4 2018, Carroll Financial Associates held 1,465 positions worth $899M, down 4.9% from $945M the previous quarter. Its ten largest holdings account for 52% of the portfolio.

Carroll Financial Associates deployed $64.5M of net new capital in Q4 2018, opening 87 new positions and adding to 269 existing holdings. Its largest new stake was Global X Adaptive US Factor ETF: 4,028,184 shares worth $91.3M.

By sector, the portfolio is most concentrated in Financials at 7.4% of assets, down from 8% a quarter earlier, followed by Technology and Healthcare.

On the sell side, the largest reduction was Invesco FTSE RAFI US 1000 ETF, an estimated $26.6M trimmed.

  • Carroll Financial Associates's largest Q4 2018 buy was Global X Adaptive US Factor ETF: 4,028,184 shares worth $91.3M.
  • Carroll Financial Associates added most to ARK Innovation ETF in Q4 2018, an estimated $3.83M increase.
  • Carroll Financial Associates's biggest Q4 2018 reduction was Invesco FTSE RAFI US 1000 ETF, cutting an estimated $26.6M.
  • Carroll Financial Associates fully exited Aetna Inc in Q4 2018, selling an estimated $1.34M.
  • Carroll Financial Associates's ten largest holdings make up 52% of its $899M portfolio in Q4 2018.
  • Carroll Financial Associates opened 87 new positions and closed 79 in Q4 2018.
  • Carroll Financial Associates's portfolio value fell 4.9% quarter-over-quarter to $899M.

Based on Carroll Financial Associates's 13F filing for Q4 2018, filed 11 Jan 2019.